Investment Services - Investment Advisor Associate

OnPoint Community Credit Union; Lake Oswego (OR); On-site; USD 65,000 - 90,000; Full time

Job summary

OnPoint Community Credit Union seeks an Investment Advisor Associate to assist a Financial Advisor with investment accounts and client onboarding. The role focuses on administrative tasks, service excellence, and achieving program goals within the Raymond James framework.

You will handle inquiries, support new business, open and service accounts, and prepare financial plans while staying compliant with FINRA/SEC rules. A strong customer focus is essential.

Qualifications

• FINRA licenses required (7,63,65/66).
• State Life & Health Insurance license required (may be obtained in first 6 months).
• Three years financial services experience preferred.
• Must possess and keep current state drivers’ license.
• High school diploma or GED required.
• College degree preferred.

Responsibilities

• Provide frontline service by handling calls, emails, and walk-ins.
• Drive new client acquisition by processing leads and referrals.
• Open new accounts for small households and service client needs.
• Prepare and update financial plans based on client circumstances.
• Place all account trades and complete annual reviews.
• Maintain account notes, generate reports, and ensure compliance.
• Support branch campaigns and cross-sell Credit Union products.
• Back-up coverage when other staff are out of the office.

Skills

Financial concepts

Critical thinking

Communication skills

Organizational skills

Professional presence

Team player

Tech & Office

Financial planning software

Education

FINRA Series 7/63/65/66 licenses

Life & Health Insurance license

High school diploma or GED

College degree (preferred)

Tools

Microsoft Office

Excel

Outlook

Word

Job description

JOB SUMMARY:

Investment Advisor Associate will directly assist an OnPoint Investment Services Financial Advisor in the sale and service of investment accounts through Raymond James Financial Services, Inc. located at OnPoint Community Credit Union. The focus of the role is to reach and exceed established written program goals by performing all essential administrative functions and operational tasks, as well as client servicing and new household onboarding, as assigned.

ESSENTIAL FUNCTIONS:

• Provide frontline service by handling incoming calls, emails, and walk-ins from clients, members and prospects.
• Drive new client acquisition by processing leads either independently or for Advisor and by working closely with branch staff to train on the identification of referral opportunities.
• Work in Shared Rep Code with Financial Advisor to open new accounts for small households and service client needs, tasks include:
  • Assess clients short-term and long-term investment needs and goals.
  • Advise clients on investment strategies and other financial choices.
  • Prepare presentations that recommend suitable investment strategies.
  • Place all account trades
  • Complete all required annual account reviews for assigned accounts
  • Prepare and update financial plans based on client circumstance.
• Perform operations and processes for Financial Advisor and Shared Rep Code accounts, including but not limited to: opening accounts, closing accounts, processing paperwork, depositing checks, entering trade orders/ACH requests, maintaining account notes, generating reports, tracking paperwork to completion and in alignment with all supervisory and compliance guidelines.
• Work on projects with Financial Advisor and department management as assigned, i.e., annual client fee management, required minimum distribution tracking, client event preparation, proactive client communication, branch staff training.
• On occasion, act as back-up coverage when another staff member is out of the office.
• Proactively refer in additional Credit Union products and services.
• Stay current on industry news, regulations, planning resources, product features and offerings.
• Complete any required continuing education in a timely manner and maintain all required active securities and other industry licenses.
• Follow all rules and regulations set forth by the Credit Union, FINRA, SEC, and the broker/dealer.
• Proactively promote and support all aspects of OnPoint Community Credit Union in alignment with strategic organization goals. Support all branch product and campaign launches.

KNOWLEDGE, SKILLS & COMPETENCIES:

• General knowledge of investment and insurance concepts, products, and financial planning basics.
• Demonstrates strong critical thinking skills, decision-making skills, and exercises prudent judgement in all problem-solving.
• Excellent verbal and written communication skills including excellent business writing communications via email.
• Must be highly organized. Ability to prioritize and handle multiple tasks simultaneously, and in some cases, with short deadlines and without sacrificing accuracy or efficiency.
• Strong presence: ability to present oneself assertively, convincingly, and with confidence to establish credibility and respect with others.
• Must work well as a team and independently.
• Strong technology and computer skills, i.e. ability to navigate between multiple screens and applications, troubleshoot laptop and connectivity issues, experience with Microsoft Office (Excel, Outlook, Word)
• Experience with financial planning software, preferred.

QUALIFICATIONS:

• FINRA Series 7, 63 and 65 or 66 licenses, required
• State Life & Health Insurance license, required (may be obtained in first 6 months)
• Three years financial services industry experience, preferred
• Must possess and keep current state drivers’ license
• High school diploma or GED, required
• College degree, preferred

PHYSICAL REQUIREMENTS:

• Prolonged periods of sitting at a desk and working on a computer.
• Must be able to lift up to 15 pounds at a time.

Securities and investment advisory services are:

Securities offered through Raymond James Financial Services, Inc., Member FINRA / SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. OnPoint Community Credit Union and OnPoint Investment Services are not registered broker/dealers or registered investment advisers, and are independent of Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc.

At OnPoint, we believe a workplace that reflects the richness of the world fosters a welcoming and empowering environment for everyone. We're committed to equity and inclusion, and consider all qualified applicants embracing every race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability, or veteran status, and your unique background.

dedicated to providing what's necessary to ensure a fair and inclusive experience.